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ACA offers investment advisers practical compliance solutions to regulatory requirements. Our experienced team of compliance professionals—many of whom are former federal, state, and SRO regulators—understand compliance and operational challenges. They use their frontline knowledge to help clients develop and sustain strong, reliable compliance programs in the manner best suited to their firm’s needs, size, and structure.
Every year, ACA conducts hundreds of compliance program reviews and coordinates and participates in dozens of SEC inspections. We have assisted over 400 investment advisers in registering with the SEC.
To request more information on ACA’s investment adviser services, complete our contact form or call Damon Zappacosta at (212) 951-1030.
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